Our Staff has compiled our research into a database of FINRA Broker Disclosures for Commonwealth Financial Network. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Paul Vincent Ferrucci | 2256659 | 1 | 09/12/2015 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Matthew Landon Peoples | 4611863 | 1 | 09/02/2015 | Customer Dispute | Denied | $46,000.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Langstaff | 2594127 | 3 | 08/20/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Austin King | 2865236 | 7 | 08/15/2015 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| Sheila Brand Stehlin | 4410030 | 2 | 06/01/2015 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Malcolm David Walker | 2865657 | 2 | 05/07/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas John Bartholomew | 704349 | 1 | 04/15/2015 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| Ryan Maughan Fleming | 2717583 | 1 | 04/02/2015 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Steven Mark Seide | 1447414 | 1 | 01/26/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Embrescia | 2669484 | 2 | 01/07/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |